OrderFulfillmentAmendment (MEFA)
| ID | 8629 |
This CAT event is used to report the amendment of a previously reported fulfillment that occurs on the same day or on a subsequent day. An Order Fulfillment Amendment event is required to be reported to CAT if the fill to the customer/client was changed after the final fulfillment had been provided to the customer/client. This Reportable Event must capture the entire state of the fulfillment after it has been amended, even though some of the data elements may remain unchanged. However, Side Details are only required to be restated if changed. When the fulfillmentLinkType value ‘YS’ is used, Side Details must be restated using an MEOFS event if changed.
Order Fulfillment Amendments are not required in scenarios where:
- Executions against an order are tracked throughout the day but a single average price fill is provided to the customer/client after the order is completed or at the end of the day. Some systems may provide intraday transparency to the progress of executing an order as informal information that is not considered by the firm to be ‘final’ fulfillments, and these should not be reported to CAT as fulfillments and fulfillment amendments. Refer to CAT FAQ B64 for additional information.
- An Industry Member makes a correction via a debit/credit to the customer's/client’s account instead of modifying the executed shares given back to the customer/client.
- Changes do not impact CAT reportable attributes of the fulfillment.
Field | Name | Type | Req'd | Comments | Pedigree |
|---|---|---|---|---|---|
2 | Y | Indicates whether the event is a new event, a firm initiated correction or a repair of a CAT error. | |||
38 | Required when actionType is ‘RPR’. Must be blank when actionType is ‘NEW’. | ||||
44 | Y | An identifier assigned to the record by the reporting firm. | |||
131 | Y | MEFA | |||
22 | The SRO-assigned identifier that an Industry Member uses to report to CAT. If populated, must equal the CATReporterIMID in the filename. | ||||
41 | Y | When a new Fulfillment Key is assigned, the date and time the fulfillmentID was assigned. When a new Fulfillment Key is not assigned, the fillKeyDate of the fulfillment event being modified. | |||
45 | Y | When a new Fulfillment Key is assigned, the internal fulfillment ID assigned to the fulfillment event by the Industry Member. Must be unique within fillKeyDate, CATReporterIMID, and symbol combination. When a new Fulfillment Key is not assigned, the fulfillmentID of the fulfillment event being modified. | |||
90 | In cases when a new fulfillmentID is assigned, the priorFillKeyDate is the fillKeyDate of the fulfilment that is being modified. Required if priorFulfillmentID is populated. | ||||
89 | If a new fulfillment ID is assigned, this is the fulfillmentID of the event being modified. | ||||
123 | Y | The symbol of the stock in the symbology of the primary listing exchange or FINRA for OTC Equity Securities. | |||
80 | An identifier used in instances of a merger or acquisition where the originating firm had open limit orders on its books that will be executed or otherwise resolved under the surviving firm. Must be provided to support linkage to an event that was reported with a different CATReporterIMID. | ||||
39 | Y | The date/time when the fulfillment was processed by the Industry Member. If manualFlag is ‘true’, timestamp must be reported to seconds. If manualFlag is ‘false’, timestamp must be reported to milliseconds or a finer increment up to nanoseconds. | |||
56 | Y | Must be marked as ‘true’ if this is a manual process. | |||
37 | The time at which the event is systematized. Required when manualFlag is ‘true’ and the event is systematized. | ||||
96 | Y | Quantity being executed and assigned. It may or may not be the full quantity of the order. | |||
21 | Y | The capacity in which the Industry Member acted. | |||
84 | Y | Price of the executed shares. Must be greater than or equal to zero. | |||
46 | Y | Refer to Appendix C for representative order linkage requirements. | |||
clientDetails | Refer to Fulfillment Side Details in Table 53: Fulfillment Side Details. Required if changed. | ||||
firmDetails | Refer to Fulfillment Side Details in Table 53: Fulfillment Side Details. Required if changed. |
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